August S. Prince
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
August Scott Prince was a registered financial professional .
August is a previously registered financial professional and started their career in finance in 1993. August had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1999 - April 6, 2000
ON-SITE TRADING, INC.
October 1, 1997 - March 25, 1998
TD PROFESSIONAL EXECUTION, INC.
November 7, 1996 - September 11, 1997
TRANS-HUDSON, L.L.C.
June 5, 1996 - September 23, 1996
LABRANCHE FINANCIAL SERVICES, LLC
October 30, 1995 - May 7, 1996
FIRST NEW YORK SECURITIES L.L.C.
August 12, 1994 - May 8, 1995
SCHONFELD SECURITIES, LLC
May 31, 1994 - August 9, 1994
TITLE SECURITIES, INC.
November 3, 1993 - December 10, 1993
KESSLER ASHER CLEARING L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
ON-SITE TRADING, INC.
CRD#: 30271 / SEC#: , 8-47104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ON-SITE ENERGY SYSTEMS, INC. | SHAREHOLDER | |
| STIEVELMAN, JACK | SHAREHOLDER | 2571504 |
| MEDNICK, GARY DAVID | PRESIDENT-CEO | 735786 |
| LIPSKY, ROBERT MARK | SHAREHOLDER | 2111939 |
| BASKIND, ROBERT P | SHAREHOLDER | |
| BERGLEITNER, GEORGE CHARLES III | SROP/CROP | 1247338 |
| BOCCIO, FRANK LOUIS | CFO | 24461 |
| JAHRE, HOWARD GORDON | CHAIRMAN | 2238671 |
| NWAIGWE, LINUS NKEM | CHEIF COMPLIANCE OFFICER | 2613032 |
| STONE, ARTHUR | COMPLIANCE OFFICER | 437238 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
